Financial Services Institute Inc. (FSI)

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  1. Articles

    Finra expected to adopt CARDS despite vocal industry resistance

    Opponents like SIFMA and FSI remain wary of the potential costs, customer data security, but Finra asserts that CARDS will help investors.

  2. Articles

    Advisers hope GOP Senate will be good for Washington productivity

    Investment advisers optimistic that Republican takeover of the Senate will create a better political atmosphere.

  1. Articles

    FSI offers long-term disability, life insurance to members

    Program guarantees members coverage at a group rate FSI has secured as the plan sponsor.

  2. Articles

    The case against state-run retirement plans

    While most Americans are not aware of it, a broad nationwide trend is underway that could profoundly impact the choices and tools that are available to them as they plan for retirement. Across the country, state legislators have introduced bills that would establish state-run or state-assisted ...

  3. Articles

    Helping advisers help themselves in succession planning

    At September gathering, FSI plans focus on M&A, practice valuation, contracts, deal structures and best practices for implementing a succession plan.

  4. Articles

    The rewards of engaging with Congress

    Recent history shows that connecting with legislators in Washington is time well spent.

  5. Articles

    FSI gives revised Finra BrokerCheck link rule the thumbs down

    In a new comment letter, the industry group contends that the rule would create undue regulatory costs.

  6. Articles

    CARDS proposal poses challenges, unintended consequences

    Though well-intended, Finra's plan could come with new security concerns and costs

  7. Articles

    FSI opposes Finra proposal for automated account information collection

    CARDS would pose risks and challenges to its members, broker-dealer group contends.

  8. Articles

    FSI to push for independent-contractor legislation in 2014

    Live from FSI OneVoice: Group wants to remove the uncertainty of continuing IRS scrutiny. Check out a video interview with Dale Brown, where the organization's president and CEO offers his Finra wish list.

  9. Articles

    Advisers dubious about chances of government action – any government action

    Independent financial advisers expect another year of tepid economic growth in the U.S. as lawmakers continue to avoid a permanent deal on the country’s debt issues. Most advisers — nearly six in 10 — expect the economy and stock market to stay flat next year, but about a third expect improvement

  10. Articles

    Lobbyists put hands in sausage maker

    As the Department of Labor readies to re-propose its fiduciary-duty rule, lobbying surrounding the issue intensifies. Did the Financial Services Institute Inc. draft an opposition letter signed by lawmakers? Probably; but that's not a scandal. That's business as usual in Washington.

  11. Articles

    BrokerCheck link dashed

    Finra yanks proposal that would have required reps to post link to database on their web sites, social media pages

  12. Articles

    Finra's cease-fire on RIA oversight

    Regulator is indicating that legislation on SRO proposal might not be revived this year

  13. Articles

    Finra warned on bonus disclosure plan

    The main trade group representing independent-contractor broker-dealers will soon go public with its concerns about a Financial Industry Regulatory Authority Inc. proposal to require brokers to disclose recruiting incentives.